Blog

Robert I. Rabinowitz

Robert I. Rabinowitz

Shareholder

Red Bank

T: 732.842.1662

Robert’s practice centers on legal and regulatory guidance in the formation and registration of broker/dealers and investment advisers, and representation of broker/dealers, investment advisers and their representatives with respect to regulatory and compliance-related matters.

He represents brokerage firms and their associated persons in connection with regulatory investigations, and disciplinary proceedings before the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”). He also specializes in representing parties in securities arbitration and civil court proceedings and is a member of FINRA Dispute Resolution’s panel of industry arbitrators.

This blog is intended for general informational purposes only and is not intended to offer legal advice in any form whatsoever. Blog readers are urged to consult their own legal counsel to obtain specific legal advice. The blog author reserves the right to answer or decline to answer any comments. Any answers given to blog comments do not constitute legal advice nor do they create an attorney-client relationship. Offensive or defamatory comments will be removed.